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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Non-Qualified Stock Option (right to buy) | $ 11 | 04/06/2005 | M | 50,000 | 03/08/2005(1) | 03/08/2012 | Common Stock | 50,000 | $ 0 | 90,910 (2) | D | ||||
Non-Qualified Stock Option (right to buy) | $ 7.365 | 04/06/2005 | M | 6,248 | 03/13/2005(3) | 03/13/2013 | Common Stock | 6,248 | $ 0 | 61,424 (2) | D | ||||
Non-Qualified Stock Option (right to buy) | $ 14.4 | 04/06/2005 | M | 43,750 | 03/18/2005(4) | 03/18/2014 | Common Stock | 43,750 | $ 0 | 180,556 (2) | D | ||||
Incentive Stock Option (right to buy) | $ 7.365 | 04/06/2005 | M | 2 | 03/13/2004(6) | 03/13/2013 | Common Stock | 2 | $ 0 | 13,578 (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BASS CARL 111 MCINNIS PARKWAY SAN RAFAEL, CA 94903 |
Chief Operating Officer |
Nancy R. Thiel, Attorney-in-fact for Carl Bass | 04/07/2005 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The option vests over a 4-year period beginning on 03/08/2002 at the rate of 100,000 shares on each of the first, second and third anniversaries, and 90,910 shares on the fourth anniversary. |
(2) | The total number of shares reported as beneficially owned includes shares that reflect the 2-for-1 stock split payable on December 20, 2004 to shareholders of record on December 6, 2004. |
(3) | The option vests over a 4-year period beginning on 03/13/2003 at the rate of 37,498 shares on each of the first and second anniversaries, and 37,500 shares on the third anniversary and 23,924 shares on the fourth anniversary. |
(4) | The option vests over a 4-year period beginning on 03/18/2004 at the rate of 62,500 shares on each of the first, second and third anniversaries, and 55,556 shares on the fourth anniversary. |
(5) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 21, 2004. |
(6) | The option vests over a 4-year period beginning on 03/13/2003 at the rate of 2 shares on each of the first and second anniversaries, 0 on the third anniversary, and 13576 shares on the fourth anniversary. |
(7) | Includes shares acquired in March 2005 pursuant to the Issuer's Employee Stock Purchase Plan. |